Enforcement Orders

1998 - 1980

 

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Date Filed

Company/Individual

Decision #

December 14, 1998Kelly R. Webb61293
December 14, 1998Dwight A. Morris61292
December 14, 1998European Marketing Group, L.C.; Charles Cox; David Kimmel; Charles Gregory; Planned Estate Consultants, Inc.; Marvin Beckman61291
November 23, 1998Robert J. Stahl61248
November 23, 1998Elizabeth Boyd61247
November 23, 1998David V. Francis61246
November 23, 1998United Mortgage Trust61245
November 23, 1998John M. Frick61244
November 23, 1998Kent Stanley Brown61243
November 23, 1998Christopher Castrogiovanni61242
November 23, 1998Private Asset Management, Inc.61241
November 23, 1998Michael Andrew Temple61240
November 23, 1998Hanover Financial Corporation; Raymond D. Pollard61239
November 23, 1998K. Nelson Harris61238
November 23, 1998WMA Securities, Inc.61226
October 29, 1998Chase Securities of Texas, Inc.61219
October 29, 1998Trendwatch, Inc.; Ronald Harry Lerner; Michael Diamond61218
October 7, 1998Raskob/Kambourian Financial61160
October 7, 1998United States Aircraft Corporation61159
September 21, 1998Alan Edward Koeneman61136
September 16, 1998Adam Craig Rentzer61116
September 16, 1998kidZtime TV, Inc.; Capital Funding & Financial Group, Inc.; Michael Alu61115
August 27, 1998Hanover Financial Corporation; Mayfair Group, L.L.C.; Anchor Trading Company, L.L.C.; Manhattan Financial Corporation; Executive Investment Group, L.L.C.; Monument Financial Group, L.L.C.; Steven R. Vereen; Douglas P. Avery; Stephen Silberfarb; Richard H. Jameson; Vaughn Dille; Darrell G. Hailstone; Raymond D. Pollard61102
August 26, 1998Buckhorn Financial Services, Inc.; Joseph K. Hilyard; Michael Lee Mathis61081
August 26, 1998Robert T. Scanlan61080
August 26, 1998Kirwan M. Flannery61079
August 26, 1998United Parcel Service of America, Inc.61078
August 6, 1998Safe Keeping, Inc., d.b.a. Safe Keeping Depository, Inc.; and Steven L. Shook61041
August 6, 1998Douglas Dean Sackett61040
July 16, 1998Aegis Financial Group, Inc.60994
July 16, 1998Rickey Allen Herndon60993
June 19, 1998Alan Edward Koeneman60958
June 19, 1998Lee May Blanche60957
June 19, 1998Ronald H. Weiner60956
May 22, 1998Eric Muench; Jayder Financial Group60901
May 22, 1998Christian Peter Tamburrelli60900
May 22, 1998Girven Kent Stott60888
April 30, 1998Black Diamond Mining Corp.; James Albert Ashpole60830
April 8, 1998Western Universal Fund Company, L.L.C.; Vincent James Liuzzi, III; James Bennett Scott60784
April 8, 1998Merit Capital Associates, Inc.60783
March 24, 1998Black Diamond Mining Corp.; James Albert Ashpole60738
March 23, 1998Interactive Television, Inc.; Jerome W. Morris60739
March 23, 1998Alan Frank Sue60740 
February 27, 1998Norcross & Company, Inc. a.k.a. Norcross Securities60715
February 27, 1998Toluca Pacific Securities Corporation60714
February 9, 1998Jaron Equities Corporation60664
February 9, 1998Carrington Estate Planning Services; Richard Dean Carrington; Blake E. Morrow; James William White60663
January 14, 1998John G. Schaefer60600
January 14, 1998Jerry Michael Hall60599
January 14, 1998Allmerica Investments, Inc.60598
December 18, 1997Interactive Television, Inc.; Jerome W. Morris; Michael R. French60522
December 18, 1997Euro-Atlantic Securities, Inc.60521
December 18, 1997Kevin Dale Colton60520
December 18, 1997Anthony Nekos, a.k.a. Anatoli Nekos, a.k.a. Daniel Nekos; John Rydell; Nikko International Research, Ltd.; Nikko International Research, Ltd.60519
November 25, 1997Red Rock Dragons, Ltd; Red Rock Dragons Securities, Ltd.; John G. Juncal; Jeanmarie G. Juncal; Robert W. Langgons60476
November 25, 1997Charles Thomas Brown d.b.a. Preferred Trust Company; Sun West Investments, Inc.60475
October 22, 1997McCarn's Allstate Finance, Inc. d.b.a. Allstate Finance, Inc.; James Hoyle McCarn60470
October 21, 1997Capital Investment Trust; Equity Solutions, Inc.; Phoenix Resource Group, L.L.C.; Energy Solutions International, Inc.; Max W. Jones60451
October 21, 1997kidZtime TV, Inc.; Capital Funding & Financial Group, Inc.; Michael Alu60450
October 21, 1997Temper of the Times Communications, Inc.60449
October 21, 1997Maurice Ian Spitz; Worldwide Asset Advisors, Inc.60448
September 26, 1997First Union Brokerage Services, Inc.60405
September 25, 1997Red Rock Dragons, Ltd.; Red Rock Dragons Securities, Ltd.; John G. Juncal; Jeanmarie G. Juncal; Robert W. Langgons60395
August 28, 1997Fortune Financial Systems, Inc.; Fortune 21, Inc.; Real Estate Link, Inc.; James S. Byrd60350
July 31, 1997Christian Peter Tamburrelli60332
July 31, 1997Scottsdale Financial; Jack Walton Combs, Jr.60331
July 31, 1997Alan Lee Rippee60330
July 30, 1997Duane Reed60326
July 30, 1997American Cineplex; Silver Vision Entertainment; Barnyard Place Partners L.L.C.; Frank Capra, Jr.60325
July 2, 1997Paul Andre Maddox60307
June 12, 1997Billy Michael Blair60262
June 12, 1997Regal Investments, Inc.60253
June 12, 1997Christian Peter Tamburrelli60252
June 12, 1997Richard Patrick Djordjevic60249
June 12, 1997Billy Michael Blair60262
May 16, 1997Matthew Thomas Burgason60195
May 16, 1997Sierra Short Term Investment Trust No. 1; Sierra Management Group, Inc.60194
May 16, 1997Physician's Health of Arizona, Inc.60193
April 17, 1997Conference Management Services, Inc.; Kenneth W. Skousen60163
March 19, 1997Sumiko Wajima Moray60101
March 19, 1997Michael Manoochehr Ghodsian60100
February 5, 1997Cranbrook Funds: Cranbrook Money Market Fund; Cranbrook Treasury Fund60040
February 5, 1997Mogollon Brewing Company60039
January 21, 1997John A. Zimbra; Trust Guarantee Corporation59989
January 21, 1997Robert Apgar Zakian; Aim Financial Group, Inc., d.b.a. Alliance Investment Management59988
January 21, 1997Dena Calton Hennessy59987
December 18, 1996Michael Wynn59925
December 18, 1996Donovan A. Gstohl59924
December 18, 1996Marty J. O'Malley59923
December 18, 1996Gary D. Brittain d.b.a. J & J Enterprises; Brittain Financial Services, L.L.C.59921
December 18, 1996Denise E. Brittain; Brittain Financial Services, L.L.C.59920
November 26, 1996Todd D. Bothwell59901
November 26, 1996James L. Phillips; John R. Miller; Dorothy B. Resources, Inc.; IBN Corporation59900
November 26, 1996Schneider Securities, Inc.59899
November 26, 1996Shanghai/Phoenix Coffee Trading Company59898
October 9, 1996Nutek Information Systems, Inc.; Jeffrey A. Shuken; AKS DAKS Communications, Inc.; SMR Advisory Group, L.C.; Albert Koenigsberg59868
August 22, 1996Nutek Information Systems, Inc.; Jeffrey A. Shuken; AKS DAKS Communications, Inc.; SMR Advisory Group, L.C.; Albert Koenigsberg59808
August 8, 1996Gene Vesely59786
August 8, 1996Berl Jacob Cruzen59785
August 8, 1996Dennis James Ryan59784
July 17, 1996Calton & Associates, Inc.59738
July 17, 1996Arthur Den Hartog59737
June 26, 1996Gilford Securities, Inc.59725
May 15, 1996PaineWebber Incorporated, a Delaware Corporation59639
May 15, 1996Smith Barney Muni Funds-New York Money Market Portfolio-Class A59638
April 24, 1996Stephen Rangen59609
April 24, 1996Natwest Investor Services Corporation59608
April 24, 1996Franklin-Lord, Inc.; Richard Carl Whelan; Brett Leon Bouchy59607
April 24, 1996Joseph E. Gardner59606
April 24, 1996American Fortune 900, Inc. d.b.a. Fortune 900, Inc.; Rory Cypers; Joseph E. Gardner; Steven Bishop59605
March 13, 1996Roxie Webb, Inc.; Roxie Webb Securities Management, Inc.59569
March 13, 1996Global Data Corporation; Thomas E. Gordon; Dewey L. Zufelt59567
March 13, 1996Danforth Associates, Inc.59566
February 21, 1996Mark Allen Haugo59514
February 21, 1996Franklin-Lord, Inc.; Richard Carl Whelan; Brett Leon Bouchy59513
December 20, 1995Branch Cabel & Company59419
December 20, 1995Robert S. Burgman59418
November 1, 1995Gerald D. Taylor d.b.a Taylor Group Land Company; Taylor and Associates Real Estate Investments, Inc. f.k.a. Taylor-Powell Investments, Inc.59383
October 11, 1995Four Star International, Inc., a.k.a. FS Real Estate Acquisitions; Ernest Burt Buxton59316
September 20, 1995Hampton Investors, Inc.59270
July 20, 1995Accessor Funds Inc. - International Equity Portfolio59173
June 7, 1995Eric Michael Dicken59117
June 7, 1995SFI Investments, Inc.59115
May 17, 1995Sterling Capital Appreciation; Adam Mided59097
May 3, 1995Capital Financial Consultants, Ltd.; Charles Edward Conatser59073
April 5, 1995Scott A. Gould59055
April 5, 1995Deedra Brown59054
March 13, 1995Weiss Money Management, Inc.59570
February 2, 1995Jeffrey Roger Lindsey58970
February 2, 1995William Spiro Mentis58969
February 2, 1995Raymond Robert Newberg58968
February 2, 1995John Everett Cathcart58967
February 2, 1995Robert S. Burgman, d.b.a. Financial Design Equities58966
December 21, 1994AWS Liquidating L.L.C.; Jeffrey Dane Howes, Dexter Selwyn Cohen; Steven Gail Johnson58916
December 21, 1994Dennis Lyle Foley; System Analysis, L.L.C.58914
December 21, 1994George Edward Looschen, Jr.58913
December 21, 1994Kobey Corp.; Ivan M. Kobey58911
December 21, 1994Robert S. Burgman d.b.a. Financial Design Equities58909
October 14, 1994North Phoenix Physician Hospital Organization, Ltd.58794
September 21, 1994Lone Mountain Securities, Inc.58766
April 28, 1994Banner Fund International; Swiss Trade Commerce Trust, Ltd.58618
February 25, 1994B & D Equities Inc.58546
February 25, 1994Texas Capital Securities58545
August 11, 1993James M. Rodden; Advanced Marketing Group (AMG)58368
July 20, 1993FAMCOR Oil, Inc.58352
June 30, 1993Allen Garth Monroe58325
May 20, 1993James Arthur Ryan58300
May 19, 1993William P. McGivern58279
April 8, 1993Lost Dutchman Investments, Inc.; Breken and Associates, Inc.; American Investment Retirement Corporation; Mammoth Resources, Inc.; Paul Virgil Patterson; Curtis Wright Patterson; Robert Derald Green; Allen Garth Monroe; William Douglas Dennison; Rickey Duane Gardner; James Arthur Ryan; Rudy J. Garcia; William F. Taylor; Patricia A. Willett58259
March 24, 1993Gregory Mark Varley58219
March 24, 1993Joseph M. Rodden; Advanced Marketing Group 58218
February 4, 1993Stephen Elssmann58184
January 13, 1993Robert Derald Green58139
January 13, 1993William Taylor58138
December 10, 1992Stephen Elssmann58113
December 9, 1992Steven Marc Slome58090
November 12, 1992William Kerr58064
October 7, 1992Dean Merrell58037
October 7, 1992Rickey Duane Gardner58036
August 26, 1992Anthony F. Blair; William C. Stead57985
August 7, 1992Lorin W. Surpless; Robert Scott Burgman57979
August 6, 1992Thomas Manno57976
August 6, 1992Jeff Foster57975
August 6, 1992Kenneth Garvey (CRD #1664214)57974
July 2, 1992National Industries Fund, Inc.57928
June 3, 1992Games Unlimited International, Inc. d.b.a. Milco Toys; Jeffrey William Miller; Rona Miller; William H. Miller; Shirley A. Miller57884
May 14, 1992The Woodington Group, Inc.; Integrated Environmental Services, Inc.; William J. Riggs, Rebecca W. Riggs, Sara H. Goldman, Abigail C. Woodington and Michael L. Goldman57858
April 22, 1992First American Biltmore Securities, Inc.57806
April 22, 1992Integrated Environmental Services, Inc.; William J. Riggs (CRD #166421); Rebecca W. Riggs; Sara H. Goldman; Abigail C. Woodington; Kenneth Garvey (CRD #502484); Michael L. Goldman (CRD #1776078); Jeff Foster; Martha Woodington; William Kerr; Thomas Manno; Stephen Elssmann57805
April 22, 1992Motors Mechanical Reinsurance Company, Limited57804
February 20, 1992First Investors Corporation; First Investors Consolidated Corporation; First Investors Management Company, Inc.; David D. Grayson; Glenn O. Head; Sam Siegel; Howard A. Froman; Alvin J. Blumenfeld; George Kechejian; John P. Murphy; Louis A. Woolf57721
November 7, 1991Todd D. Bothwell (CRD #859176)57618
November 7, 1991James J. Olson57617
November 7, 1991James Lee Foley, CRD #129442757616
November 7, 1991Dan Lee Davis, CRD #129442657615
November 6, 1991Restaurant Associates of America, Inc., also d.b.a. Guardian International Resources; John A. Dougherty57592
September 5, 1991Westech Lease Corporation, d.b.a. Western Executive Group; Western Geo Resources, Inc.; Charles Rietz57535
August 2, 1991Robert Carl Martin; Judith Anne Martin a.k.a. Anne J. Matin; Robert Herman Wagner; Ram Sales Associates, Inc.; Ram International, Inc.; Ram Dynamics, Inc.57508
June 19, 1991Daniel G. Hasbrook57415
June 6, 1991AMMO, Inc.; Robert J. Walton; Robert D. Bjerken57401
May 1, 1991Shufro, Rose & Ehrman57354
April 3, 1991H. G. Wellington & Co., Inc.57303
February 15, 1991Red Key Gold Mines, Inc.; First Sun West Corporation; Rio Salado Traders, Inc.; Roy Dean Higgs; Leon Henry Ritchie; Darrell E. Reed; Lawrence Michael Labine57272
February 14, 1991Simmons-Rufenacht Securities Corp.57252
January 16, 1991Quest Capital Strategies, Inc.57225
November 29, 1990Michael D. Mullet; Intercontinental Foreign Exchange, Ltd.57148
November 29, 1990Raymond L. Kotrozo; Carol A, Kotrozo; RL Kotrozo, Inc.57145
September 19, 1990Jesup, Josephthal & Co., Inc.57103
September 10, 1990R.C.I. Trading, Inc.; Axiom III Corp.; Continental Trading International, Ltd.57101
August 22, 1990T. L . Reed Securities, Inc.57069
June 27, 1990Douglas Stewart Incorporated56989
June 6, 1990Harold C. Brown & Co., Inc.56950
June 6, 1990Edward C. Rober & Co., Inc.56951
April 27, 1990OX Bow Mines, Inc.56930
April 26, 1990Frank H. McCullough56929
April 26, 1990Kenneth Harold Kube56928
April 26, 1990Paul John Robinson56902
March 14, 1990Geoff A. Havre56851
March 14, 1990John Alexander Schroeder; Stanley James Allen; Michael Patrick Fantetti; James Roe; Paul John Robinson; Sonya Marie Rozen56850
March 14, 1990John C. Bergman, Jr.56849
February 21, 1990James P. Tiberio; Denise Helen Tiberio; International Diversified Investment Corporation d.b.a. International Diversified Investment Company d.b.a. I. D. I. C. d.b.a. J. D. I. Limited Partnership56829
December 20, 1989Central States Metals Zoe, Inc.; Central States Metals Zoe, TN, Inc.; Mary Lyons; John William Rockenstein, Jr.56761
December 20, 1989Texas Coastal Securities, Inc.; Texas Coastal Petroleum, Inc.; Michael Edward Potter; Robert Polk Riordan, Jr.; William Thomas Harper; Robert Polk Riordan56741
December 20, 1989Texas Coastal Securities, Inc.; Texas Coastal Petroleum, Inc.; Michael Edward Potter; Robert Polk Riordan, Jr.; William Thomas Harper; Robert Polk Riordan56724
December 11, 1989Thomas James Associates, Inc.56740
December 6, 1989Gayle B. Gunn II, d.b.a. G. B. Gunn; Houston R.R. Corporation d.b.a. The Houston Corporation; Houston R & R Corporation; Reese T. Houston; Roger D. Swayze; Rochdale Recovery Group; Rich Stevens56733
December 6, 1989Texas Coastal Securities, Inc.; Texas Coastal Petroleum, Inc.; Michael Edward Potter; Robert Polk Riordan, Jr.; William Thomas Harper; Robert Polk Riordan; Robert Polk Riordan56724
December 6, 1989White Rock Mining, Inc.; Accrued Financial Services, Inc.; Apache Rand Corporation d.b.a. Apache Rand Refinery d.b.a. Apache Rand, Inc.; Marcel, Edwards, Hall & Associates; Steven J. Bourque a.k.a. J.W. Hall; Madre Mining Incorporated; Carl Grodin; Siegfried Jachmann56723
December 6, 1989Selected Money Market Fund, Inc. - General Portfolio56722
December 6, 1989Retirement Planning Funds of America, Inc. - Money Market Fund56721
November 7, 1989Bonnell & Co., Inc. (formerly known as Western Discount Securities)56712
November 7, 1989L. F. Thompson & Co.; Brian H. Zilke56710
November 7, 1989R. & T. Metals Corporation; Henry Irving Ramer; Melvin Douglas Thornton; Willard Bennard Lee; A. J. Ferrara56709
November 7, 1989Daniel Burl Horton56708
November 7, 1989James Mason Lepow56707
November 7, 1989Eppler, Guerin & Turner, Inc.56706
November 7, 1989William Gerard Corrigan; Gerard Financial Corporation56698
October 5, 1989Ronald Arthur Tober56653
August 24, 1989Pax World Fund, Incorporated56616
August 4, 1989Pannos Mining Company; Christopher E. Pannos; James E. Pannos; Lynn Diltz; William B. Mooney; Rick Stevens56602
August 4, 1989Jacquelin Sirota d.b.a. Global Consultants; Paul Cohen; Leonard Grassi Associates, Inc.56601
August 4, 1989Kenneth A. Roberts; Kenneth A. Roberts & Associates; Roberts Engineering & Development Corporation56600
August 4, 1989Janann M. Balogh56596
July 12, 1989Vulcan Mining & Development, Co., Inc.; Norman L. Bennett; Richard Boone; Troy Metals Group; Perry Billstone; Larry Kaufman; Investment Research Corp., Inc.56536
July 3, 1989Wisconsin Discount Securities Corporation, Inc.56597
June 21, 1989Consolidated Asset Management Fund, Inc,56518
June 7, 1989Century Capital Corporation; James Scott Cole56497
May 18, 1989Wade Bruce Cook; American Business Alliance, Inc. (Arizona); American Business Alliance, Inc. (Utah); Monarch Funding Corporation56492
May 17, 1989P. Oppenheimer & Associates, Inc.56491
May 17, 1989Gail Leslie Jones56490
May 17, 1989Eric Nobriga56489
May 17, 1989Thomson McKinnon Securities, Inc.56488
April 5, 1989DBL Tax Free Fund, Inc.-Limited Term Portfolio56446
April 5, 1989DBL Tax Free Fund, Inc.-Long Term Portfolio56445
April 5, 1989Drexel Series Trust-Priority Selection List Series56444
April 5, 1989Drexel Series Trust-Limited Term Government Series56443
April 5, 1989DBL Tax Free Fund, Inc.-Money Market Portfolio56442
March 27, 1989Bond Debenture Series; Government Securities Series; Growth Series; Money Market Series56441
March 23, 1989Sanford Barry Venitt56413
March 23, 1989Meracor Securities Corporation56412
March 23, 1989Huntington Securities Group56411
March 23, 1989ANFS, Inc.56410
March 23, 1989Southwest Capital Securities56409
March 23, 1989Sun Valley Securities56408
March 23, 1989Blum Investment Company56407
March 23, 1989Beuret & Company, Ltd.56406
March 23, 1989Ironwood Securities, Inc.56405
March 23, 1989FPI Securities, Inc.56404
March 23, 1989Crown Group, Ltd.56403
March 23, 1989Option Finance Corporation56402
March 23, 1989Sabre Securities Corporation56401
March 23, 1989First Arizona Investment Securities, Inc.56400
March 23, 1989Munoz Securities Co.56399
March 23, 1989Diversified Equities Corp.56398
March 23, 1989FCM Securities Corporation56397
March 23, 1989Equity Search Securities56396
March 23, 1989Windsor Equity Corporation56395
March 23, 1989Interwest Securities Corporation56394
March 23, 1989Financial Service Corporation of America56393
March 23, 1989O. R. Securities, Inc.56392
March 23, 1989Equities International Securities56391
March 23, 1989Oberweis Securities, Inc.56390
March 23, 1989Columbine Securities, Inc.56389
March 23, 1989Fitzgerald, Dearman  & Roberts, Inc.56388
March 23, 1989Evans & Co., Inc.56387
March 8, 1989G. K. Scott & Co., Inc.56365
February 16, 1989Thomas Patrick Garrity56354
January 26, 1989MFS Financial Services, Inc.56337
January 11, 1989James Scott Cole56316
December 19, 1988The Value Line Fund, Inc.; Value Line Securities, Inc.56338
November 30, 1988 Halcon Petroleum, Inc.; Floyd M. Totten56247
November 21, 1988New England Funds - New England Government Securities Fund56246
October 13, 1988Investex Petroleum, Inc.; Roger W. Slayton; Bruce F. Ruark56178
October 3, 1988L. G. Friedman Associates, Inc.; Southwestern Assistance, Inc.; Leonard Gregory Friedman; Michael King Thomas56161
September 21, 1988Schield Portfolios Series, Aggressive Growth Portfolio56249
September 15, 1988

NRG Corporation of America; Merlyn Berg; Kim Baker; Ralph Baker; John Giustino; Mike Upchurch; Hydromet, Inc.; Dudley W. Hardin; Nevada Business Services; Roy Bonn; Results Plus, Inc.

56137
September 15, 1988 Modern Exploration, Inc.; Gary Yost; George K. Montgomery, Sr.; Greg R. Kuhn56135
August 31, 1988Marco Capital Resources, Inc.; M. Bruce Feldman; Ed Sanders; Laura Lee56113
August 3, 1988Dennis Kimsan Tan56080
August 3, 1988Century Capital Corporation; James Scott Cole56079
August 3, 1988Yes Investments, Inc.; William B. Yvon56078
July 13, 1988Tucker Anthony; R. L. Day, Inc.56052
July 13, 1988Franklin California Tax-Free Income Fund, Inc.56051
June 29, 1988Cigna Municipal Bond Fund56042
June 29, 1988Gerald Michael Dini56034
June 13, 1988First Affiliated Securities Inc.56019
June 13, 1988Vodavi Technology56018
June 13, 1988Maricopa Nursery, Ltd.; LB. Sterling Capital Corporation; Jack Craig Garber; David Brein; David Angard56017
May 26, 1988Benham Management Corporation; Capital Preservation Funds55986
May 26, 1988RAL Asset Management Group55985
May 5, 1988Shell Mining, Ltd.; Richard Eugene Shell; Merton Pekrul55978
May 5, 1988Yes Investments, Inc.; William B. Yvon55972
April 6, 1988E. F. Hutton & Company Inc.55936
March 25, 1988I.M. Simon & Co., Inc.55924
March 8, 1988Lee Robert Christian56366
February 19, 1988Benham California Tax-Free Trust High Yield Portfolio55885
January 21, 1988Transamerica Cash Reserve, Inc.55854
January 21, 1988Steve Wayne Rogers55853
January 21, 1988Sussex Securities Incorporated55852
January 21, 1988Coco's Metals International, Inc.55851
January 11, 1988Spelman & Co., Inc.56315
December 9, 1987E. F. Hutton & Company Inc.55811
December 9, 1987Kevin Lawrence Connolly55810
November 24, 1987K-D & Associates, Inc.; O.W. Martin Enterprises, Inc.55799
October 21, 1987Mike Douglas55761
October 21, 1987Sonya Marie Rozen55760
October 21, 1987Prudential-Bache Securities Inc.55759
September 23, 1987Ivy Fund55742
August 26, 1987Craig Allen Van Buskirk55706
July 30, 1987Strategic Metal Investments, Inc.; John M. Lefebvre55668
July 30, 1987NS Securities, Inc.55667
July 30, 1987Stanford Financial Resources, Inc.55666
July 30, 1987Brittenum & Associates, Inc.55665
July 30, 1987Argo Equities, Inc.55664
July 2, 1987Petro-Source Securities55648
July 2, 1987Enventure Securities Group Inc.55647
July 2, 1987United Investment Services, Inc.55646
July 2, 1987Sungrowth Securities Corp.55645
July 2, 1987Pilot Financial Services, Inc.55644
July 2, 1987Overthrust Securities, Inc.55643
July 2, 1987Financial Enterprises, Inc.55642
July 2, 1987D H Equine, Inc.55641
July 2, 1987Kevin Taylor Twohy55640
July 2, 1987Deborah Ann Stelfox55639
July 2, 1987Charles Edward Kuisle55638
July 2, 1987John Beryle Longman55637
July 2, 1987Lamonte Frick Bolding55636
June 17, 1987IFP, Incorporated55601
June 17, 1987Phenix Mining Corporation; George Brian Stone55600
May 22, 1987Quality Capital Financial Services, Inc.55581
May 6, 1987B. H. Oil Consultants, Inc.; Schruben-Waddell; Brian Higgins; David Windham55555
April 23, 1987James Edward Dutra55542
March 18, 1987Dwight Edward (IKE) Depottey; Sandra A. Depottey; Masterplan of Arizona a.k.a. Masterplan, Inc.; Car-Loan, Inc. a.k.a Car-Loan #801; East-West Technologies, Inc.; Conch Investment Co., Inc. d.b.a. Champ Automotive; International Corporation; Champ International55472
March 4, 1987Southwestern Financial Management, Inc.; John E. Anderson; Timothy P. Kack55465
March 4, 1987Peter E. Kack55464
March 4, 1987Timothy P. Kack55463
March 4, 1987John E. Anderson55462
March 4, 1987Southwestern Financial Management, Inc.55461
March 4, 1987Western Labs & Engineering; M & M Holding, Inc.; Marshall Ott55460
March 4, 1987First Petroleum Corporation of America55459
February 20, 1987Richmar Petroleum Corporation d.b.a. Richmar Oil Corporation; Richard G. Gonday; Gonday Industries Corporation55440
February 19, 1987Troy Anthony & Associates; R. Gerard Suite55439
December 30, 1986Leo Thomas Marzoni, III55362
December 17, 1986Metropolitan Area Physicians, Ltd.55339
December 3, 1986American Energy Systems Leasing, Inc.; Jerome Anthony Cadden55301
December 3, 19864R Enterprises, Inc.; Greywater Miser; Parker B. Raphael, Sr.55300
November 19, 1986Buyer's Corporation; Victor Bergelson55297
November 19, 1986Buyer's Corporation; Victor Bergelson55296
November 19, 1986Buyer's Corporation; Victor Bergelson55295
November 19, 1986L. Arthur Sobel55294
October 29, 1986Gary Kosacz; Andrew M. Shubert55251
October 16, 1986Zykor International, Ltd.; X-Alpha International, Ltd.; Ronnie Harold Adair; Gary Lynn Dillon55237
October 16, 1986Epic Enterprises, Ltd.; Remington Sharp; Jason Cath Cart; TWA Associates; Thomas William Anderson55236
October 1, 1986Paragon Investments, a.k.a. P.I.E., Inc.; Marvin D. Brandon, a.k.a. M.D. Brandon; Sanjay Kohli; Susan Hoversten; Jack L. Christian, Jr.55213
September 18, 1986Allied Petroleum, Incorporated; Kenneth Eugene Beeman; John Charles Quist55211
September 9, 1986Gemcraft, Inc.; Jerome R. Hutchins; Sheldon M. Blazar; G. Russell Hutchins; Frank L. Romero55193
September 9, 1986Atlas Publishing Corporation; Carl J. Allendorf; Mervin "Tommy" Syfert55192
September 9, 1986Gilbert Paul Marrero55191
September 9, 1986David Craig Motti55190
August 20, 1986Cera Industries Limited Partnership; Kelly Mularkey; Alan R. Mularkey; Cera Industries, Inc.55150
August 6, 1986Edward Brown Securities, Inc.55127
August 6, 1986National Theatre for the Performing Arts, Ltd.; Robert Leslie Bowenn55126
August 6, 1986Black Gold Oil Company; B.J. Pinter; William Driscoll55125
July 28, 1986L. C. Bennett55121
July 28, 1986Pinter Oil Company55109
July 24, 1986James L. Rummel55108
July 24, 1986Blinder Robinson & Co., Inc.55107
July 10, 1986Sidney Deo Anders55102
July 9, 1986David Craig Motti; Gilbert Paul Marrero55093
July 9, 1986Myers & Associates, Inc.; Charles D. Myers, Jr.; William J. Bryant55092
June 25, 1986Incor Sedona Properties55082
June 25, 1986Incor Sedona Properties55081
June 25, 1986Mint Financial Services, Inc.; Don Collier55080
June 25, 1986North American Oil & Gas, Inc.; Jerry L. Pettiet; Paul R. Beeson; Desert Rose Oil Company55079
June 11, 1986Gary Kosacz; Andrew M. Shubert55064
May 30, 1986Marge Robinson55055
May 29, 1986Richard Zinke55041
May 29, 1986Mitchell James Klenda55040
May 29, 1986Richey Frankel & Co.55039
May 29, 1986Carl Eldon Walker; Phoenix Can Company, Inc.55038
May 6, 1986Beacon Securities, Inc.55021
April 30, 1986Chris Griffin Mendrop55010
April 30, 1986All Services Financial Center55009
April 30, 1986Winchester Securities Corp.55008
April 30, 1986Francis Manzo & Company, Inc.55007
April 30, 1986Seco Securities Inc.55006
April 30, 1986Alsid Equities Inc.55005
April 30, 1986A Man Ataullah Malik55004
April 30, 1986Kermit Alden Kolstad, Jr.55003
April 30, 1986Capital Consultants Inc.55002
April 30, 1986Arthur De Rosa & Associates55001
April 30, 1986Horizon Trading Inc.55000
April 30, 1986Bevill Bressler & Schulman, Inc.54993
April 30, 1986Stoneridge Securities Inc.54992
April 21, 1986Christensen, Tervort, Inc.; Intercoastal Finance Corporation; David Alan Christensen; Tommy Robert Tervort; Broadway Business Center #1 Limited Partnership54984
April 21, 1986Arizona Petroleum Research54983
March 19, 1986Stephen Kenneth Schlunz54949
March 6, 1986Douglas J. Cardon54918
March 6, 1986Dallin Donald Law; Gary Alson Moore; Michael Heber Clement; Wayne Louis Guthrie; Alan Wayne Strebeck54917
February 6, 1986Thomas Gaylord Pline Stuart James Company, Inc.54884
February 5, 1986Drexel Burnham Lambert, Inc.; Stanley S. Trotman, Jr.54885
January 23, 1986Petroleum Research Corp.; Arizona Petroleum Research Corp.; Daniel Wood; John Michael Kupanoff; Wayne Stout54867
December 19, 1985Petroleum Research Corp.; Arizona Petroleum Research Corp.; Daniel Wood; John Michael Kupanoff; Wayne Stoute54818
December 12, 1985Van Hardin Blount54798
November 26, 1985Cooperative Home Loan Association of Arizona; Cooperative Home Loan Fund of Arizona54779
November 13, 1985Daley Securities, Inc.54778
November 13, 1985Silver Screen Partners II, LP54776
November 13, 1985First National Service & Energy Corporation; Blake William Wilson; Alaskan Petroleum Corporation54775
October 16, 1985First National Service & Energy Corporation; Blake William Wilson; Alaskan Petroleum Corp.54737
October 10, 1985First National Service & Energy Corporation54730
October 10, 1985Innovative Supply Company, Ltd; Canadian Growing Grounds; Tom Rasmussen; Tom Carter54714
September 5, 1985Daley Securities, Inc.54682
September 5, 1985Morton, Mary Fleming54681
September 5, 1985Wellington Precious Metals, Inc.54680
August 22, 1985Phenix Mining Corporation; George Brian Stone54644
August 7, 1985Wilson-Davis & Co.54639
August 5, 1985Charles Chisum Palmer54624
August 5, 1985Mack Odell Hickman54623
August 5, 1985George H. Foster54622
August 5, 1985Matthew R. White Investment Co., Inc.54621
August 5, 1985Parker Bryant, Inc.; David C. Knight; Gary Kosacz; Andrew M. Shubert54620
August 5, 1985North American Investment Corp.54619
August 5, 1985Scott H. Smith54618
August 5, 1985Jimmy Craig Harris54617
August 5, 1985Hamilton Stearns Gregg II54616
August 5, 1985George Lewis Barritt54615
July 8, 1985 Silver Screen Partners, II, L.P.54625
July 1, 1985Donald L. Lawrence54581
June 28, 1985Lionel G. Lancaster54573
June 6, 1985Engler-Budd Company54554
June 6, 1985Paragon Industries, Inc.; Paragon Energy Partners; Paragon Drilling Program, Ltd.; Sheila #1 Drilling Program, Ltd.; Daniel Beyer; George Greve; International Western Resources Corporation54553
May 22, 1985Hamilton Gregg Securities54541
May 22, 1985Johnson-Bowles Company Inc.54540
May 8, 1985Sunstates Corporation54523
May 8, 1985Harry James Munce54522
April 25, 1985Keep the Faith, Inc.; Howard Walsh; Jack Hofbauer54503
April 1, 1985Oil and Gas Associates; Ernst Wilcox; Harry Weindorf; Marry H. Katz54447
April 1, 1985Preferred Properties Investment Corp.54434
April 1, 1985American Commercial Securities Corp.54433
April 1, 1985Multi-Vest Corporation Kansas54432
April 1, 1985Parker Alexander & Co., Inc.54431
April 1, 1985First Interwest Securities Corp.54430
April 1, 1985School Street Fund Distributors Inc.54429
April 1, 1985J David Securities Inc.54428
April 1, 1985Cal Currens & Co.54427
April 1, 1985Pueblo Discount Brokerage Corp.54426
April 1, 1985Hackert/Modesitt Investments Ltd.54425
April 1, 1985First Financial Securities Inc.54424
April 1, 1985Bitting & Co., Inc.54423
April 1, 1985DMR Securities, Inc.54422
March 14, 1985Rex F Beasaw, Jr.54411
March 14, 1985Jon Gordon Eberenz54410
March 14, 1985Bradley Charles Stevens54409
March 14, 1985Anthony Sidney Pettigrew54408
March 7, 1985Exploration Systems International, Inc.; James Richard Bethel; Kevin Christopher Dodd; Harvey Edward Gartley54400
March 5, 1985Great Western Mining Development Corp.; Sommers & Hammond, Inc.; Wayne Stanley Hammond; Larry Jay Sommers54399
February 28, 1985Horace E. (Larry) Watkins; Judith M. Watkins54389
January 31, 1985Olumayokun Oso54348 
January 31, 1985Eric Lionel Clayden; Raymond Alexander Clayden; Lowry Kowallis Flake; Sandy Kim Johnson54347
January 31, 1985GIC Securities Corporation54346
January 23, 1985Butch Davis; John Bacile; Bill Gibson; Larry Womack54869
January 23, 1985J. Earl Moore; Jim Pennington54868
January 18, 1985Quartz Engineering and Materials, Inc.54331
January 3, 1985Roy Allen Smith54317
December 5, 1984Edward and Charlotte Garrity, individually and d.b.a. Investments International; Executive I, II, III54252
November 23, 1984Parallax Enterprises, Ltd.; Parallax Energy Corporation; Robert Scott Farrell; Phillip M. Epstein; Timothy Dale Barnes; Jerry Lewinson54246
November 21, 1984United States Territories Bank and Trust54245
November 20, 1984Ari-Vest Financial, Inc.,; Cal-Westerly Corporation; Dixon-NRG Systems "84-1"; Richard O. Carlson; Richard D. Dixon54237
November 8, 1984Lamar A. Dixon54235
November 8, 1984Balanced Financial Management, Inc.; Calvin K. Rickett54234
September 12, 1984John B. Sowers a.k.a. J. Bradford Sowers; Michael F. Lee; Petroleum Development Corporation54174
April 12, 1984Polaris International Metals Corporation; James N. Concannon53996
March 28, 1984Atlas Monetary International Trust; Odes J. Harwood; James L. Driver; L. Mills Beam53960
March 10, 1984Marvin L. McAnnally53952
February 16, 1984Keystone Mineral Sales, Inc.; Ron Hlavaty; Keystone Mining and Milling Co.53926
January 27, 1984Dillon Securities Inc.53910
December 22, 1983Ken Sandberg53863
December 22, 1983Paul Walstrom53862
December 22, 1983Donald Emrich53861
December 22, 1983The Larmer-Sykes Co., Inc.53860
December 8, 1983National Bullion & Coin, Inc.53839
December 8, 1983Wall Street West, Inc.53838
September 26, 1983 MCS Telecommunications, Inc.53749
September 7, 1983Donald C. Decker; Equine America Corporation; Anthony V. Catanzaro a.k.a. Tony Orlandi53734
August 26, 1983Larry Little53710
August 26, 1983Dale Seacat53709
August 26, 1983Jonathan Jones53708
August 26, 1983Jack Bruso53707
August 26, 1983Freeman Financial Services53706
August 26, 1983Eagle Oil & Gas Corporation53705
August 26, 1983Robin Ballard; Richard Kamerling53704
August 26, 1983The Stratford Company; David Moore53703
August 26, 1983East-West Oil & Gas Corporation; Adam Hill; Ron Smith53702
August 3, 1983Johnson-Bowles Co., Inc.; Les Anderton; John Fivas53672
August 3, 1983Donald C. Decker; Equine America Corporation53671
August 3, 1983Troy-Kel Stables, Ltd.; William E. Bainum; Ben Campo, Jr.; William Michaels53670
July 20, 1983Terry Murphy; Michael James Roppo53664
July 20, 1983Vantage Securities of Colorado, Inc.53663
July 20, 1983 Vantage Securities of Colorado, Inc.53662
July 20, 1983Robert Skold53661 
July 20, 1983Michael Duane Hayes53660
July 20, 1983Clayton Jeffrey Thomas53659
July 20, 1983Robert Warren Wetzel53658
July 20, 1983Mike Regan53657
July 20, 1983Robert Joyce53656
July 20, 1983Terry Tyler53655 
July 20, 1983 Victor Walter Carper 53654
July 20, 1983Nicholas Louis Arky53653
July 20, 1983George Thomas Ray53652
July 20, 1983David C. Pesnell; Dave Pesnell Enterprises, Inc.; Gregory R. Ciccolini53639
June 2, 1983National Securities Corp.53599
June 2, 1983David Edward Remark; Jerry Glenn Pogue; James Elias Ryan; Carole Jean Snelson53598
June 1, 1983Michael House; Burton Belf; Kevin Brandley; Mary Bergeron53583
June 1, 1983First Colorado Investments Securities, Inc.53582 
March 16, 1983Gary L. Greenberg53483
March 16, 1983Courtright Company, a California limited partnership53482
February 3, 1983The Racon Group; West Washington Street Office Partners Limited (Phase One); Sam Radobenko53435
January 19, 1983U. S. Oil and Gas Corporation; Reggie Inkley; Steve Johnson; Mark Simpson53430 
January 5, 1983Felix Roman Park, Jr.53386
January 5, 1983Charles Franklin Knight, II; Sentry Trust Company53385
January 3, 1983Azoco Limited; Azoco 6P-82; Petroleum Capital Corporation; PCC Hefley #1 Partnership; William G. Priess; Dale E. Tingley53433
December 16, 1982DuPont Oil Company; Dale Martin; Pam Myers53345 
September 30, 1982North Star International53232
September 30, 1982David M. Anthony; Canadian Fidelity Finance Corporation53231
September 17, 1982Independent Oil Corporation; Steven J. Dykes53216
September 17, 1982Magnatex Corporation53215
August 10, 1982TEC Industries, Inc.; Michael Gharbi; Jerry McDougal; Terry Richards; Ray Patterson; Peter Anthony; Mike White53161
August 10, 1982National Coal Exchange, Inc.53160
August 10, 1982The Capital Fidelity Group; North American Coal Exchange, Inc.; Lawrence Morris; Jim Grey; Robert Litton53159
August 10, 1982Anthony Todd; John Kilpatrick53158
July 7, 1982Harry Pappas53097
June 2, 1982G. S. Omni Corporation53065
April 1, 1982Securities Clearing of Colorado, Inc.52928
February 16, 1982National Securities Corporation53452
January 22, 1982Stix & Co. Inc.52752
November 19, 1981DMR Securities, Inc.52627
September 17, 1981Grow Partnership I, Ltd.52467
August 20, 1981Mega Oil Corporation; William B. Newland; John McCamer52396
August 12, 1981Jay Robert Jablonski52389
July 22, 1981DMR Securities, Inc.52342
July 22, 1981DMR Securities, Inc. 52341
July 22, 1981Blue Ribbon Tours--Arizona, Inc.; Robert Basil52340
July 22, 1981Hoba Plantations, Inc.; Hoba Plantation Development Co.; George S. Reed; Louis Evans; Fred M. Mitchell52339
July 22, 1981Dadecor, Inc.; Bertrand Garden Apartments, Ltd.; Oak Cliff Village North Apartments, Ltd.; Southdale Apartments, Ltd.; Village Oaks South Apartments, Ltd.; Brett M. Davis52338
July 9, 1981Pan American Express International, Ltd. a.k.a. Panamex International; Robert J. Doorn; Norman L. Cooper52292
July 9, 1981DMR Securities, Inc.52210
June 17, 1981Swink and Company, Inc.52242
June 16, 1981DMR Securities, Inc.52210
May 5, 1981Arizona Growth Investments I52110
May 5, 1981Farthing and Allan Mining Company, Inc.; Arthur H. Farthing; Harry F. Allan52109
May 5, 1981Ronald Allen Bacon52108
April 21, 1981Wilmot Robert Wiggins52060
April 21, 1981Dean Witter Reynolds, Inc.52062
April 21, 1981Southeast Diamond Corporation52061
April 9, 1981Peter J. Peter and Company52056
March 31, 1981Vacations International, Inc.; Blair J. Belsito; Mark Joseph Gutzwa; Robert E. Kelly; Charles A. Stafford; Roy Lee Davis52008
March 3, 1981Lad Mining Co., Ltd.; Donald R. Adams; Thomas Jack Deshazo51902
March 3, 1981Vacations International, Inc., et al.51901
February 17, 1981Gunnison Bank Holding Corporation51870
February 3, 1981Gordon Peil51755
January 20, 1981 Jojoba Horizons, Inc. 51745
January 13, 1981Sunpower Systems Corporation51717
January 13, 1981Merit Mortgage Group Ltd.; Benaron L. Gleiberman51716
December 23, 1980Jack Alan Gerber51681
December 23, 1980Buchanan & Co., Inc.51680
December 23, 1980Sno-Kone Industries, Inc.51677
December 8, 1980Arizona Property Fund51632
December 8, 1980Wagenseller & Durst, Inc.51631
November 25, 1980 Jojoba Horizons, Inc.51585
November 4, 1980Source Securities Corporation51523
October 21, 1980Robert Oscar Hurford51486
October 8, 1980Equity Purchasing, Inc.; Dean B. Wolzen51429
October 8, 1980Lad Mining Company, Ltd.; Thomas Jack DeShazo51428
October 8, 1980Maurice Altshuler51427
October 8, 1980Wendell William Rote Jr.51431
October 8, 1980Richard L. Peelman d.b.a. Financial Specialist51430
September 3, 1980Douglas Birdsey Alberts51323
September 3, 1980David Lee Murrow51322
June 30, 1980Western Livestock Feeds, Inc.; Farm Fertilizers, Inc.; D. Loren Lake51300
May 20, 1980Sno-Kone Industries, Inc.; Jacob Daniel Davis50977
April 22, 1980Arthur E. Coates; Kino Partnership Ltd.; Arizona Film Corporation50869
April 22, 1980Tom Thumb Nursery Farms, Inc.; Tom Thumb Plant Centers, Inc.; Robert L. Fielding; Thomas Conte50868
April 22, 1980Guest Directories Company, Inc.; Mervin "Tommy" Syfert50867
March 18, 198050 States Real Estate, Inc.; Richard L. Behner50750
March 18, 1980Edward R. Devlin50749
March 18, 1980Kenneth J. Kennedy50748
February 29, 1980Action Line of America, Inc.; Harley Thomas Herrin50705 
February 5, 1980Robert William Gahn50651